CALIFORNIA TRANSPORTATION COMMISSION STATE TRANSPORTATION IMPROVEMENT PROGRAM GUIDELINES - Resolution G-21-59 August 18, 2021
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CALIFORNIA TRANSPORTATION COMMISSION
STATE TRANSPORTATION IMPROVEMENT
PROGRAM GUIDELINES
Resolution G-21-59
August 18, 2021August 18-19, 2021
Policies and Procedures Specific to the 2022 STIP
The following specific policies and procedures address the particular circumstances of
the 2022 STIP:
• Schedule. The following schedule lists the major milestones for the development
and adoption of the 2022 STIP:
Caltrans presents draft Fund Estimate June 23-24, 2021
STIP Guidelines & Fund Estimate Workshop July 19, 2021
CTC adopts Fund Estimate & Guidelines August 18-19, 2021
Caltrans identifies State highway needs September 15, 2021
Caltrans submits draft ITIP October 15, 2021
CTC ITIP hearing, South November 2021 *
CTC ITIP hearing, North November 2021 *
Regions submit RTIPs December 15, 2021
Caltrans submits final ITIP December 15, 2021
CTC STIP hearing, North January 27, 2022
CTC STIP hearing, South February 3, 2022
CTC publishes staff recommendations February 28, 2022
CTC adopts STIP March 23-24, 2022
* The date and location for the ITIP North and South Hearings will be determined
by October 1, 2021.
• Statewide Fund Estimate. The statewide capacity for the 2022 STIP Fund Estimate
identifies net new capacity in the two years added to the STIP, 2025-26 and 2026-
27. It also identifies a small amount of new capacity in the first three years of the
2022 STIP (2022-23 through 2024-25). The capacity in the first three years of the
2022 STIP will be sufficient to meet programming commitments and cover some
cost increases. The estimate incorporates the 2021-22 Budget Act and other 2021
legislation enacted prior to the Fund Estimate adoption. Programming in the 2022
STIP will be constrained by fiscal year, with most new programming in the two years
added to the STIP, 2025-26 and 2026-27.
• COVID Relief Funds. The shares distributed from the COVID Relief funds are not
part of the fund estimate, therefore, are not included as part of the county shares
and targets. The tracking of these shares will be done separately.
• Public Transportation Account. The 2022 STIP Fund Estimate indicates a negative
program capacity for the Public Transportation Account (PTA). Therefore, all rail and
transit projects currently programmed in the STIP and those nominated in the 2022
STIP must be eligible to be funded from the State Highway Account or federal funds
(see section 25 of the permanent STIP guidelines).
• County Shares and Targets. The Fund Estimate tables of county shares and targets
take into account all county and interregional shares through June 30, 2021. TheAugust 18-19, 2021
shares were calculated using the statutorily driven formula distribution taking into
account population and highway lane miles. Because the 2020 census will not be
complete until September 2020, the population data used was from the 2010
Census.
For each county share and the interregional share, the table identifies the following
amounts:
o Base (Minimum). There is no Base (Minimum) for the 2022 Fund Estimate.
This is because the very limited programming capacity through 2023-34 is
insufficient for fund the unprogrammed share balance.
o Total Target. This target is determined by calculating the STIP formula share of
all new capacity through 2026-27. The Total Target is not a minimum,
guarantee, or limit on project nominations or on project selection in any county
or region for the 2022 STIP.
o Maximum. This target is determined by estimating the STIP formula share of
all available new capacity through the end of the county share period in 2027-
28. This represents the maximum amount that the Commission may program
in a county, other than advancing future shares, pursuant to Streets and
Highways Code Section 188.8(j), to a county with a population of under 1
million.
• Transit and Rail Projects. As indicated in the 2022 STIP Fund Estimate, there is a
negative capacity in PTA funds. Regions and Caltrans may nominate transit and rail
projects within an RTIP within State Highway Account and Federal funding
constraints.
• Bicycle and Pedestrian projects. Bicycle and pedestrian projects may be
programmed in the STIP so long as they are eligible for State Highway Account or
Federal funds.
• Limitations on planning, programming, and monitoring (PPM). The Fund Estimate
includes a table of PPM limitations that identifies the 5% limit for county shares for
2024-25 through 2026-27, based upon the 2020 and 2022 Fund Estimates. These
are the amounts against which the 5% is applied. The PPM limitation is a limit to the
amount that can be programmed in any region and is not in addition to amounts
already programmed.
• GARVEE bonding and AB 3090 commitments. The Commission will not consider
proposals for either GARVEE bonding or new AB 3090 commitments as part of the
2022 STIP. The Commission will consider AB 3090 or GARVEE bonding proposals
as amendments to the STIP after the initial adoption.
• Uncommitted Funding. The Commission will consider programming projects with
uncommitted funds only from the Solutions for Congested Corridors Program, Trade
Corridors Enhancement Program, and Local Partnership Program. If the funding
commitment is not secured with the adoption of the next programming cycle forAugust 18-19, 2021
these programs and alternative funding is not identified within six months, a STIP
amendment will be required to delete the project(s) or substitute the project(s) for
project(s) that have a full funding plan commitment.
• Advance Project Development Element. There is no Advance Project Development
Element capacity identified for the 2022 STIP.
• Commission expectations and priorities. For the 2022 STIP, the Commission
expects to give priority to the reprogramming of projects from the 2020 STIP, as
amended.
The selection of projects for additional programming will be consistent with the
standards and criteria in section 61 of the STIP guidelines. In particular, the
Commission intends to focus on RTIP proposals that meet State highway
improvement and intercity rail needs as described in section 20 of the guidelines.
The Department should provide a list of the identified state highway and intercity rail
needs to regional agencies and to the Commission by September 15, 2021. Should
the Department fail to provide a region and the Commission with this information, the
Commission will assume there are no unmet state highway or intercity rail needs in
that region.
Governor Brown issued Executive Order B-30-15 on April 29, 2015, related to
climate change and establishing an interim statewide greenhouse gas emission
reduction target to reduce greenhouse gas emissions to 40 percent below 1990
levels by 2030. The order also requires that State agencies take climate change into
account in their planning and investment decisions and employ full life-cycle cost
accounting to evaluate and compare infrastructure investments and alternatives. In
addition, State agencies’ planning and investments shall be guided by the following
principles:
o Priority should be given to actions that both build climate preparedness and
reduce greenhouse gas emissions;
o Where possible, flexible and adaptive approaches should be taken to prepare
for uncertain climate impacts;
o Actions should protect the state’s most vulnerable populations; and
o Natural infrastructure solutions should be prioritized.
The interim statewide greenhouse gas emissions reduction target in Executive Order
B-30-15 was permanently codified by Senate Bill (SB) 32 (Pavley, 2016) through
Health and Safety Code Section 38566 which directs the California Air Resources
Board, in adopting rules and regulations to achieve the maximum technologically
feasible and cost-effective greenhouse gas emissions, to ensure that statewide
greenhouse gas emissions are reduced to at least 40 percent below the statewide
greenhouse gas emissions limit no later than December 31, 2030.August 18-19, 2021 Executive Order B-30-15 and the requirements of SB 32 must be considered by the Department and Regional Agencies when proposing new programming for the 2022 STIP. The Commission intends to consider Executive Order B-30-15 and the provisions of SB 32 when approving programming recommendations in the event that programming requests exceed programming capacity.
California Transportation Commission August 18-19, 2021
STIP Guidelines
CALIFORNIA TRANSPORTATION COMMISSION
PERMANENT STIP GUIDELINES
TABLE OF CONTENTS
I. Introduction
Section 1. Purpose and Authority ...................................................................... 1
Section 2. Biennial Fund Estimate..................................................................... 1
Section 3. STIP Adoption .................................................................................. 1
Section 4. Amendments to STIP Guidelines ..................................................... 2
Section 5. Federal TIPs and Federal STIP........................................................ 2
II. STIP Contents
Section 6. General............................................................................................. 2
Section 7. County and Interregional Shares...................................................... 2
Section 8. Joint Funding.................................................................................... 3
Section 9. Prior Year Projects ........................................................................... 3
Section 10. 1996 STIP Projects .......................................................................... 3
Section 11. Multi-Modal Corridor ......................................................................... 3
Section 12. Transportation Management System Improvements........................ 4
Section 13A.Capacity Increasing Highway Operational Improvements ................ 5
Section 13B.Non-Capacity Increasing Highway Operational Improvements ........ 5
III. STIP Requirements for All Projects
Section 14. Project Study Reports....................................................................... 5
Section 15. Programming Project Components Sequentially .............................. 6
Section 16. Completion of Environmental Process.............................................. 7
Section 17. Caltrans/Regional Consultations ...................................................... 7
Section 18. Minor Projects .................................................................................. 8
Section 19. Criteria for Measuring Performance and Cost-Effectiveness............ 8
IV. Regional Improvement Program
Section 20. Submittal of RTIPs ......................................................................... 12
Section 21. Project Planning, Programming, and Monitoring ............................ 13
Section 22. Bicycle and Pedestrian Projects in the STIP .................................. 14
Section 23. County Shares, Advances and Reserves ....................................... 14
Section 24. Federal Match ................................................................................ 15
Section 25. Regional Improvement Program Project Eligibility.......................... 15
Section 26. Federalizing Transit Projects .......................................................... 17
Section 27. Increased STIP Funding Participation ............................................ 17
Section 28. Pooling of County Shares............................................................... 17
Section 29. Consistency with Land Use Plans and CMP .................................. 18
Page iCalifornia Transportation Commission August 18-19, 2021
STIP Guidelines
V. Interregional Improvement Program
Section 30. General........................................................................................... 18
Section 31. Submittal of Caltrans ITIP............................................................... 19
Section 32. Regional Recommendations for the Interregional Program............ 20
Section 33. Regional Transportation Plan ......................................................... 21
Section 34A.Interregional Program Objectives ................................................... 21
Section 34B.Interregional Highway and Intercity Rail Needs.............................. 23
Section 34C Highway to Boulevards Conversion Pilot Program......................... 24
Section 35. Bicycle and Pedestrian Projects in the ITIP.................................... 24
Section 36. Projects and Reserves ................................................................... 24
VI. Advance Project Development Element
Section 37. Fund Estimate for Advance Project Development Element ............ 25
Section 38. Programming of APDE County and Interregional Shares............... 25
Section 39. Program Year ................................................................................. 25
Section 40. Program Amendments.................................................................... 25
Section 41. Effect on Regular County and Interregional Shares ....................... 25
Section 42. APDE Shares May Not Be Exceeded............................................. 25
VII. Display of Project Descriptions and Costs
Section 43. Project Description ......................................................................... 26
Section 44. State-only Funding ......................................................................... 26
Section 45. Project Fact Sheets ........................................................................ 26
Section 46. STIP Database ............................................................................... 27
Section 47. Cost Estimates for Project Components......................................... 27
Section 48. Authority and Responsibility ........................................................... 28
Section 49. Basis for Cost Sharing.................................................................... 28
Section 50. Program Year for Cost Components .............................................. 28
Section 51. Escalation Adjustments .................................................................. 29
Section 52. Prior Costs for 1996 STIP Projects................................................. 30
VIII. Share Balances and Adjustments
Section 53. Long-term Balances ....................................................................... 30
Section 54. Local Grant Projects....................................................................... 30
Section 55. Construction ................................................................................... 31
Section 56. Construction Support...................................................................... 31
Section 57. Right-of-Way .................................................................................. 31
Section 58. Project Development ...................................................................... 32
Section 59. Federal Demonstration Projects ..................................................... 32
IX. Commission Action and Adoption
Section 60. Commission Action on RTIP Proposals.......................................... 33
Section 61. Commission Action on Advances and Reserves ............................ 34
Section 62. Commission Action on Interregional Program ................................ 35
Section 63. STIP Respreading of Projects ........................................................ 35
Page iiCalifornia Transportation Commission August 18-19, 2021
STIP Guidelines
X. STIP Management
Section 64. Allocation of Funds......................................................................... 35
Section 64A. Allocation of R/W Capital for Caltrans Implemented Projects ....... 37
Section 64B. SB 184 Reimbursement Allocations.............................................. 38
Section 65. Timely Use of Funds....................................................................... 39
Section 66. Delivery Deadline Extensions......................................................... 42
Section 67. STIP Amendments ......................................................................... 42
Section 67A. Approval of AB 3090 Arrangements.............................................. 43
Section 67B. Selection of Projects for GARVEE Bonding .................................. 46
Section 68. Project Delivery .............................................................................. 46
XI. STIP Development Schedule and Procedures
Section 69. STIP Development Schedule ......................................................... 48
Section 70. ITIP Hearings ................................................................................. 48
Section 71. STIP Hearings…………………………………………………………...48
Section 72A Transmittal of RTIPs ...................................................................... 48
Section 72B Transmittal of ITIP .......................................................................... 49
Section 73. Commission Staff recommendations.............................................. 49
XII. Appendices
Appendix A. Project Fact Sheet.......................................................................... 50
Appendix B Performance Indicators, Measures and Definitions ........................ 51
Appendix C Addendum for LATIP Programs ..................................................... 56
Appendix D Title VI Requirements..................................................................... 60
Page iiiCalifornia Transportation Commission August 18-19, 2021
STIP Guidelines
I. Introduction:
1. Purpose and Authority. These guidelines describe the policy, standards, criteria
and procedures for the development, adoption and management of the state
transportation improvement program (STIP). They were developed and adopted in
cooperation with Caltrans, regional transportation planning agencies, county
transportation commissions and local agencies in accordance with Government
Code Section 14530.1. The guidelines were developed and adopted with the
following basic objectives:
• Develop and manage the STIP as a resource management document.
• Facilitate transportation decision making by those who are closest to the
transportation problems.
• Recognize that although Caltrans is owner-operator of the State highway
system, the regional agencies have the lead responsibility for resolving
urban congestion problems, including those on state highways.
• Provide incentives for regional accountability for the timely use of funds.
• Facilitate the California Transportation Commission, and Caltrans role as
guardian of State capital dollars, with responsibility for determining how best
to manage those dollars in a wise and cost-effective manner.
• Facilitate cooperative programming and funding ventures between regions
and between Caltrans and regions.
• Make progress towards regional and statewide goals and objectives in the
improvements of the state’s multi-modal transportation system.
• Emphasize partnerships between Caltrans and regional agencies in making
investment decisions addressing the most critical corridor needs, regardless
of mode choice or system condition.
• Mitigate negative environmental and community impacts.
The Commission intends to carry out these objectives through its guidelines,
stressing accountability, flexibility, and simplicity.
2. Biennial Fund Estimate. By July 15 of each odd numbered year Caltrans shall
submit to the Commission a proposed fund estimate for the following five-year
STIP period. The Commission shall adopt the fund estimate by August 15 of that
same year. The assumptions on which the fund estimate is based shall be
determined by the Commission in consultation with Caltrans, regional agencies
and county transportation commissions.
3. STIP Adoption. Not later than April 1 of each even numbered year the
Commission shall adopt a five-year STIP and submit it to the legislature and to the
Governor. The STIP shall be a statement of the Commission’s intent for allocation
and expenditure of funds for the following five years as well as a resource
management document to assist in the planning and utilization of transportation
resources in a cost-effective manner. The STIP shall be developed consistent with
Page 1California Transportation Commission August 18-19, 2021
STIP Guidelines
the fund estimate and the total amount programmed in each fiscal year of the STIP
shall not exceed the amount specified in the fund estimate. The adopted STIP
shall remain in effect until a new STIP is adopted for the next two-year STIP cycle.
4. Amendments to STIP Guidelines. The Commission may amend the adopted STIP
guidelines after first giving notice of the proposed amendment and conducting at
least one public hearing. The guidelines may not be amended or modified during
the period between thirty days following the adoption of the fund estimate and the
adoption of the STIP.
5. Federal TIPs and Federal STIP. These guidelines apply only to the transportation
programming requirements specified in state statutes. They do not apply to
transportation programming requirements specified in federal statutes. Generally,
all projects receiving federal transportation funds must be programmed in a federal
TIP (for projects in urbanized regions) and also in a federal STIP. Metropolitan
Planning Organizations are responsible for developing and adopting federal TIPs
and Caltrans is responsible for preparing the federal STIP. The requirements for
federal TIPs and the federal STIP are specified in federal statutes (Title 23 USC)
and federal regulations (23 CFR part 450).
II. STIP Contents:
6. General. The STIP is a biennial document adopted no later than April 1 of each
even numbered year. Each STIP will cover a five-year period and add two new
years of programming capacity. Each new STIP will include projects carried
forward from the previous STIP plus new projects and reserves from among those
proposed by regional agencies in their regional transportation improvement
programs (RTIPs) and by Caltrans in its interregional transportation improvement
program (ITIP). State highway project costs in the STIP will include all Caltrans
project support costs and all project listings will specify costs for each of the
following four components: (1) completion of all permits and environmental studies;
(2) preparation of plans, specifications, and estimates; (3) right-of-way acquisition;
and (4) construction and construction management and engineering, including
surveys and inspection. (See Sections 47 and 50 of these guidelines for guidance
on the display of project components and their costs.)
7. County and Interregional Shares. The STIP consists of two broad programs, the
regional program funded from 75% of new STIP funding and the interregional
program funded from 25% of new STIP funding. The 75% regional program is
further subdivided by formula into county shares. County shares are available
solely for projects nominated by regions in their RTIPs. The Caltrans ITIP will
nominate only projects for the interregional program. Under restricted
circumstances, an RTIP may also recommend a project for funding from the
interregional share (see Section 32 of these guidelines).
Page 2California Transportation Commission August 18-19, 2021
STIP Guidelines
The 1998 STIP period constituted a single county share period ending 2003-04;
later county share periods are discrete 4-year periods, ending 2019-20, 2023-24,
etc. Both surpluses and deficits of county shares and interregional shares carry
forward from one period to the next. The Commission will program each new
project, including Caltrans support costs, either from a county share or from the
interregional share. (See Sections 53-59 of these guidelines for the method of
counting cost changes after initial programming.)
8. Joint Funding from Regional and Interregional Shares. If Caltrans and a regional
agency agree, they may recommend that a new project or a project cost increase
be jointly funded from county and interregional shares. In that case, the region will
nominate the county share in the RTIP and Caltrans will nominate the interregional
share in the ITIP.
9. Prior Year Projects. The STIP shall include projects from the prior STIP that are
expected to be advertised prior to July 1 of the year of adoption, but for which the
Commission has not yet allocated funds.
10. 1996 STIP Projects. All 1996 STIP project costs will be funded off the top prior to
the division of new funds between the regional and interregional programs. This
grandfathered funding will include Caltrans support costs, and the project cost
display for 1996 STIP projects will conform to the same standards used for new
STIP projects. Any cost changes to construction or right-of-way capital costs for
1996 STIP projects will be drawn from or credited to county and interregional
shares the same as if they were cost changes to new STIP projects. Caltrans
support costs for 1996 STIP projects will be drawn from county and interregional
shares only to the extent that they are attributable to a change in project scope
since the 1996 STIP. All cost changes will be drawn from or credited to the
appropriate regional share. Caltrans, in the ITIP, shall report on the budgets for all
ongoing grandfathered 1996 STIP projects. This reporting shall include a
comparison of actual expenditures compared to project budgets as reported in the
2012 ITIP.
11. Multi-Modal Corridor. A corridor is defined as a largely linear geographic area
including various modes of transportation that facilitate the multi-modal movement
of people and goods, support the economy, and connect communities, including
cross-mode connections. A multi-modal corridor is generally defined by existing
and forecasted travel patterns serving a particular travel market or markets
affected by similar transportation needs and mobility issues. Origins and
destinations, land use, place types, and existing and future development
surrounding the transportation infrastructure also influences how the multi-modal
Page 3California Transportation Commission August 18-19, 2021
STIP Guidelines
corridor is defined. Pursuant to state and federal law 1 and statewide guidance 2,
Caltrans and regional transportation agencies prepare corridor plans to identify
multi-modal transportation projects that will meet state, regional, and local goals
and benefit corridors around the state.
12. Transportation Management System Improvements. The Commission supports
implementation and application of transportation management systems (TMS)
improvements to address highway congestion and to manage transportation
systems. Under current statutes Caltrans is owner operator of the state highway
system and is responsible for overall management of the state highway system.
The regional transportation agencies are responsible for planning and
programming transportation strategies, facilities and improvements which address
regional transportation issues and system wide congestion. The Commission
encourages the regions and Caltrans to work cooperatively together to plan,
program, implement, operate, and manage transportation facilities as an integrated
system with the objective of maximizing available transportation resources and
overall transportation system performance.
Considering this objective and the respective responsibilities of Caltrans and the
regional agencies, it is the Commission’s policy that TMS improvements for state
highways may be programmed in the State Highway Operations and Protection
Program (SHOPP) by Caltrans in consultation with regional agencies if such
improvements are part of a region’s adopted strategy for addressing system wide
congestion. The regions are encouraged to program TMS improvements in their
RTIP for STIP programming if timely programming through the SHOPP is not
possible because of funding limitations in the SHOPP. TMS improvements
include, but not limited to, the following types of projects:
• Transportation Management Centers (TMCs) including necessary computer
software and hardware.
• TMC interconnect projects which allow a TMC to substitute for another TMC
during an emergency.
• TMC field elements such as, but not limited to, traffic sensors, message signs,
cameras, and ramp meters, which upgrade the existing facilities and are
necessary to facilitate the operation of the TMC.
The application of TMS improvements should be coordinated with other
operational improvements such as freeway ramp/local street access modifications
and auxiliary lanes in order to maximize the TMS benefits. Prior to programming a
new highway facility for construction, reconstruction, or rehabilitation in the STIP or
in the SHOPP, regions and Caltrans should fully consider transportation systems
1
California Government Code Section 65086, California Streets and Highways Code Sections 2390 – 2397, Title 23
United States Code Section 135, Title 23 Code of Federal Regulations Part 450.320(c).
2
2018 Comprehensive Multimodal Corridor Plan Guidelines: https://catc.ca.gov/programs/sb1/solutions-for-
congested-corridors-program, and Caltrans Corridor Planning Guidebook:
https://dot.ca.gov/programs/transportation-planning/multi-modal-system-planning/system-planning
Page 4California Transportation Commission August 18-19, 2021
STIP Guidelines
management plans and needs and include any necessary TMC field elements to
support operation of existing or planned TMCs.
13A. Capacity Increasing Highway Operational Improvements. State highway
operational improvements which expand the design capacity of the system are not
eligible for the SHOPP. To the extent such projects address regional issues, the
regional agency is responsible for nominating them for STIP programming through
the RTIP process. To the extent such projects address interregional issues,
Caltrans is responsible for nominating them for STIP programming through the
ITIP process. Examples of such projects include:
1. High Occupancy Vehicle (HOV) lanes and HOV interchanges.
2. Interchange design modifications and upgrades to accommodate traffic
volumes that are significantly larger than the existing facility was designed for.
3. Truck or slow vehicle lanes on freeways of six or more mixed flow lanes.
13B. Non-Capacity Increasing Highway Operational Improvements. State highway
operational improvements which do not expand the design capacity of the system
and which are intended to address spot congestion and are not directly related to
TMCs or TMC field elements are eligible for the SHOPP. Regions may nominate
these types of projects for STIP programming through the RTIP process if timely
implementation through the SHOPP is not possible. Examples of such projects
include:
1. Auxiliary lanes for merging or weaving between adjacent interchanges.
2. Intersection modifications including traffic signals.
3. Slow vehicle lanes on conventional highways and four lane freeways.
4. Curve and vertical alignment corrections.
5. Two-way left turn lanes.
6. Channelization.
7. Turnouts.
8. Chain control and truck brake inspection sites.
9. Shoulder widening.
III. STIP Requirements for All Projects:
14. Project Study Reports. A new project may not be included in either an RTIP or the
ITIP without a complete project study report (PSR) or, for a project that is not on a
State highway, a PSR equivalent. A PSR equivalent must follow the same
requirements and standards of the Commission’s PSR guidelines. It must be
prepared by a registered engineer and contain the proper approvals including
approval of Executive Director, Division Chief or District Director, of the nominating
agency and the implementing agency. For a rail project where the implementing
agency is a private railroad, the signature of the private railroad will not be required
in a PSR equivalent. This requirement applies to the programming of project
development components as well as to right-of-way and construction. This
requirement does not apply to the programming of project planning, programming,
Page 5California Transportation Commission August 18-19, 2021
STIP Guidelines
and monitoring funds. A PSR is a report that meets the standards of the
Commission’s PSR guidelines. For a transit or rail procurement project, the
Commission’s Uniform Transit Application may be used as a PSR equivalent. A
project study report equivalent will, at a minimum, be adequate to define and justify
the project scope, cost, and schedule to the satisfaction of the regional agency.
Though a PSR or equivalent may focus on the project components proposed for
programming, it must provide at least a preliminary estimate of costs for all
components. The PSR, PSR equivalent, or Project Report must be submitted with
the final RTIP or ITIP, or a link may be provided to view the document
electronically.
15. Programming Project Components Sequentially. Project components may be
programmed sequentially. That is, a project may be programmed for
environmental work only without being programmed for plans, specifications, and
estimates (design). A project may be programmed for design without being
programmed for right-of-way or construction. A project may be programmed for
right-of-way without being programmed for construction. The Commission
recognizes a particular benefit in programming projects for environmental work
only since project costs and particularly project scheduling often cannot be
determined with meaningful accuracy until environmental studies have been
completed. The premature programming of post-environmental components can
needlessly tie up STIP programming resources while other transportation needs go
unmet.
The Commission may program a project component only if it finds that the
component itself is fully funded, either from STIP funds or from other committed
funds. The Commission will regard funds as committed when they are
programmed by the Commission or when the agency with discretionary authority
over the funds has made its commitment to the project by ordinance or
resolution. For federal formula funds, including Surface Transportation Block
Grant Program, Highway Improvement Program, Congestion Mitigation and Air
Quality and federal formula transit funds, the commitment may be by federal
Transportation Improvement Program adoption. For federal discretionary funds,
the commitment may be by federal approval of a full funding grant agreement or
by grant approval.
For projects where the agency is seeking federal discretionary funds such as New
Starts or Small Starts for construction, the commitment may take the form of
federal acceptance into Accelerated Project Delivery and Development (in the case
of Small Starts) with the expectation of federal approval of an Expedited Grant
Agreement, or federal approval of a project to enter Engineering (in the case of
New Starts) with the expectation of federal approval of a Full Funding Grant
Agreement, as long as all funding, excluding STIP funding, is committed to the
project. A project that is programmed prior to receiving federal approval for
construction must receive the federal approval for construction prior to construction
Page 6California Transportation Commission August 18-19, 2021
STIP Guidelines
allocation and no later than the end of the first full federal fiscal year after adoption
of the STIP or STIP amendment, or the project will be deleted from the STIP.
When proposing to program only preconstruction components for a project,
Caltrans or the regional agency should demonstrate the means by which it intends
to fund the construction of a useable segment, consistent with the regional
transportation plan or the Caltrans interregional transportation strategic plan.
All regional agencies with rail transit projects shall submit full funding plans
describing each overall project and/or useable project segment. Each plan shall
list Federal, State, and local funding categories by fiscal year over the timeframe
that funding is sought, including funding for initial operating costs. Moreover,
should the project schedule exceed the funding horizon, then the amount needed
beyond what is currently requested shall be indicated. This information may be
incorporated in the project fact sheets (see Section 45 of these guidelines).
16. Completion of Environmental Process. The Commission may program funding for
project right-of-way or construction only if it finds that the sponsoring agency will
complete the environmental process and can proceed with right-of-way acquisition
or construction within the five-year period of the STIP. In compliance with Sections
21102 and 21150 of the Public Resources Code, the Commission may not allocate
funds to state or local agencies for design, right-of-way, or construction prior to
documentation of environmental clearance under the California Environmental
Quality Act. As a matter of policy, the Commission will not allocate funds for
design, right-of-way, or construction of a federally funded project prior to
documentation of environmental clearance under the National Environmental
Policy Act. Exceptions to this policy may be made in instances where federal law
allows for the acquisition of right-of-way prior to completion of the National
Environmental Policy Act review.
17. Caltrans/Regional Consultations. Caltrans and regional agencies shall consult with
each other in the development of the ITIP and the RTIPs. As a part of this
consultation, Caltrans will advise regional agencies, as far in advance as is
practicable, of projects that may be or are likely to be included, in the ITIP,
including the potential for joint funding from county and interregional shares, and
will seek the advice of the regional agencies regarding these projects. Caltrans will
also advise the appropriate regional agencies, as far in advance as is practicable,
of any schedule and cost changes for Caltrans implemented projects funded from
regional shares in the STIP. The consultation should allow regional agencies to
consider and to advise Caltrans regarding the potential impact of the ITIP on the
programming of projects in the RTIP. The Commission encourages Caltrans to
assist the regional agencies that are responsible for preparing a Federal TIP by
identifying projects that may be included in the ITIP, recognizing that Federal
regulations generally require that a project in a county with an urbanized area be
included in the Federal TIP in order to qualify for Federal funding.
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As part of this consultation, each regional agency should seek and consider the
advice of Caltrans regarding potential regional program funding for State highway
and intercity rail projects and should advise Caltrans, as far in advance as is
practicable, of staff recommendations or other indications of projects that may be
or are likely to be included in the RTIP. The consultation should allow Caltrans to
consider and advise the regional agency regarding the potential impact of the RTIP
on the programming of projects in the ITIP. Where the regional agency prepares a
Federal TIP, the consultation should provide for the timely inclusion of State
highway projects in the Federal TIP.
Nothing in this section is meant to require that Caltrans or a regional agency make
final commitments regarding the inclusion of particular projects in the ITIP or RTIP
in advance of the December 15 deadline for submission.
18. Minor Projects. There is no minimum size for a STIP project. The minor reserve in
the Caltrans State Highway Operation and Protection Program (SHOPP) is for
SHOPP projects only. The Commission will not allocate funds from the SHOPP
minor program for enhancements, mitigation, or cost increases for STIP projects.
19. Criteria for Measuring Performance and Cost-Effectiveness. Regions and Caltrans
are responsible for developing goals, objectives and priorities that include
consideration of the overall performance of the transportation system consistent
with federal and state planning requirements. These goals and objectives are
incorporated in the region’s regional transportation plan (RTP) and are also
reflected in the region’s RTIP, and similarly in Caltrans’ interregional transportation
strategic plan (ITSP) and ITIP. In order to maximize the state’s investments in
transportation infrastructure, it is the Commission’s policy that each RTIP and the
ITIP will be evaluated for performance and cost-effectiveness at the regional level
and, where applicable, at the project level.
The Commission will evaluate each RTIP and the ITIP based on the following:
A. A performance evaluation at the regional level and how each RTIP furthers
the goals of the region’s RTP, and if applicable, its Sustainable Communities
Strategies (SCS), and for Caltrans, how the ITIP furthers the goals of the
ITSP.
B. An evaluation of the cost-effectiveness of the RTIP at the regional level or
ITIP at the statewide level.
C. Project specific data on proposed changes to the built environment.
D. For projects with total cost of $50 million or greater, or STIP programming for
right-of-way and/or construction of $15 million or more, a project specific
benefit evaluation will be performed to estimate its benefit to the regional
system from changes to the built environment. Consistent with Executive
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Order B-30-15, the project specific benefit evaluation must include a full life-
cycle cost evaluation and take climate change impacts into account.
The Commission will consider the evaluations submitted by regions when making
decisions on RTIPs as described in Section 60 of these guidelines. The
Commission will consider the evaluations submitted by Caltrans when making
decisions on the ITIP as described in Section 62 of these guidelines.
The Commission expects that these evaluations will be on a life-cycle basis (full
cost through the life of the project, including maintenance and operation).
A. Regional level performance evaluation.
Caltrans and each region that is a Metropolitan Planning Organization (MPO) or
within an MPO shall include an evaluation of overall (RTP or CTP/ITSP level)
performance using, as a baseline, the regions’ or state’s existing monitored data.
To the extent relevant data and tools are available, the below listed performance
measures may be reported:
• Vehicle Miles Traveled (VMT) per capita
• Percent of congested VMT (at or below 35 mph)
• Commute mode share (travel to work or school)
• Percent of distressed state highway lane-miles
• Pavement Condition Index (local streets and roads)
• Percent of highway bridge lane-miles in need of replacement or
rehabilitation (sufficiency rating of 80 or below)
• Percent of transit assets that have surpassed the FTA useful life period
• Highway Buffer Index (the extra time cushion that most travelers add to their
average travel time when planning trips to ensure on-time arrival)
• Fatalities and serious injuries per capita
• Fatalities and serious injuries per VMT
• Percent of housing and jobs within 0.5 miles of transit stops with frequent
transit service
• Mean commute travel time (to work or school)
• Change in acres of agricultural land
• CO2 emissions reduction per capita
• Accessibility and on-time performance for rail and transit
• Farebox recovery ratio
Regions outside an MPO shall include any of the above measures that the region
currently monitors. A region outside an MPO (or a small MPO) may request, and
Caltrans shall provide, data on these measures relative to the state transportation
system in that region.
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As an alternative, a region outside an MPO (or a small MPO) may use the
Performance Monitoring Indicators identified in the Rural Counties Task Force’s
Rural and Small Urban Transportation Planning study dated June 3, 2015. These
include:
• Total Accident Cost
• Total Transit Operating Cost per Revenue Mile
• Total Distressed Lane Miles, and
• Land Use Efficiency (total developed land in acres per population)
The evaluation of overall performance shall include a qualitative or quantitative
assessment of how effective the RTIP or the ITIP is in addressing or achieving the
goals, objectives and standards which correspond to the relevant horizon years
within the region’s RTP or Caltrans ITSP that covers the 5-year STIP period.
Caltrans’ evaluation of the ITIP shall also address ITIP consistency with the RTPs.
In addition, each region with an adopted SCS shall include a discussion of how the
RTIP relates to its SCS. This will include a quantitative or qualitative assessment
of how the RTIP will facilitate implementation of the SCS and also identify any
challenges the region is facing in implementing its SCS. In a region served by a
multi-county transportation planning organization, the report shall address the
portion of the SCS relevant to that region. As part of this discussion, each region
shall identify any proposed or current STIP projects that are exempt from SB 375.
B. Evaluation of the cost-effectiveness of the RTIP or ITIP.
Regions shall, if appropriate and to the extent necessary data and tools are
available, use the performance measures outlined above to evaluate cost-
effectiveness of projects proposed in the STIP on a regional level. Caltrans shall
do so at the statewide level.
C. Project-level outputs.
For each new project proposed, the region or Caltrans shall provide data on the
proposed changes to the built environment, including but not limited to the items
listed below. Such data shall be included in the PPR.
For state highway projects:
• New general-purpose lane-miles
• New HOV/HOT lane-miles
• Lane-miles rehabilitated
• New or upgraded bicycle/pedestrian lane/sidewalk miles
• Operation improvements
• New or reconstructed interchanges
• New or reconstructed bridges
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For intercity rail and rail/transit projects:
• Additional transit miles or vehicles
• Miles of new track
• Rail crossing improvements
• Station improvements
For local street and road projects:
• New lane-miles
• Lane-miles rehabilitated
• New or upgrade bicycle/pedestrian lane/sidewalk miles
• Operation improvements
• New or reconstructed bridges
D. A project level benefit evaluation shall be submitted for projects for which
construction is proposed, if:
• The total amount of existing and proposed STIP for right-of-way and/or
construction of the project is $15 million or greater or
• The total project cost is $50 million or greater
The project level benefit evaluation shall address the specific benefits of the
proposed project using as many of the following measures as are relevant:
• Change in Vehicle Miles Traveled (VMT) per capita
• Change in percent of congested VMT (at or below 35 mph)
• Change in commute mode share (travel to work or school)
• Change in percent of distressed state highway lane-miles
• Change in Pavement Condition Index (local streets and roads)
• Change in percent of highway bridge lane-miles in need of replacement or
rehabilitation (Sufficiency Rating of 80 or below)
• Change in percent of transit assets that have surpassed the FTA useful life
period
• Change in highway Buffer Index (the extra time cushion that most travelers
add to their average travel time when planning trips to ensure on-time
arrival)
• Change in fatalities and serious injuries per capita
• Change in fatalities and serious injuries per VMT
• Change in percent of housing and jobs within 0.5 miles of transit stops with
frequent transit service
• Change in mean commute travel time (to work or school)
• Change in acres of agricultural land
• Change in CO2 emissions reduction per capita
• Changes in accessibility and on-time performance
• Change in farebox recovery ratio
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The project level benefit evaluation shall include a Caltrans generated benefit/cost
estimate, including life-cycle costs for projects proposed in the ITIP. For the RTIP,
the regions may choose between the Caltrans estimate and their own estimate
(explain why the Caltrans estimate was not used). The project level evaluation
must explain how the project is consistent with Executive Order B-30-15, including
a description of any actions taken to protect the state’s most vulnerable
populations. The evaluation shall be conducted by each region and by Caltrans
before the RTIPs and the ITIP are submitted to the Commission for incorporation
into the STIP.
IV. Regional Improvement Program:
20. Submittal of RTIPs. After consulting with Caltrans, each regional agency shall
adopt and submit its RTIP to the Commission and to Caltrans no later than
December 15 of each odd-numbered year. The RTIP will include and separately
identify:
(a) Programming proposals from the county share(s), consistent with the STIP
fund estimate and Section 23 of these guidelines. These proposals may
include new projects and changes to existing STIP projects.
(b) Programming proposals from the county Advance Project Development
Element (APDE) share, if identified in the fund estimate, which is treated as
an advance of future share (see Sections 37-42).
(c) Any request to advance a future county share for a larger project .
(d) Any project recommendations for the interregional share.
(e) A discussion of the proposed project’s impact on other projects planned or
underway within the corridor.
(f) Information on STIP projects (in the RTIP) completed since the last RTIP
submittal (see section 68).
(g) A discussion of what the regions believe are the most significant
interregional highway and intercity rail needs within the region (see section
34B), and any state routes within the region that might be potential
candidates for a highways to boulevards conversion pilot program (see
section 34C).
After approval by the regional agency Board, each RTIP will be made available
electronically by the regional agency on its website, with the link provided to the
Commission.
Each RTIP shall be based on the regional transportation plan that has been
developed and updated pursuant to Government Code Section 65080, and a
region wide assessment of transportation needs and deficiencies. Programming in
the RTIP should not be based on a formula distribution of county share among
agencies or geographic areas.
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Caltrans may nominate or recommend State highway improvement projects for
inclusion in the RTIP for programming from the county share. Caltrans should also
identify any additional State highway and intercity rail improvement needs within
the region that could reasonably expect to be programmed within the 3 years
beyond the end of the current STIP period using revenue assumptions similar to
those adopted for the fund estimate. These programming recommendations and
this identification of State highway and intercity rail improvement needs should be
provided to the regional agency at least 90 days prior to the due date for submittal
of the RTIP or, if a later due date for project nominations is set by the regional
agency, prior to that date. The regional agency has sole authority for deciding
whether to accept Caltrans’ STIP recommendations for programming in the RTIP.
Caltrans shall provide a copy or list of its RTIP recommendations and identification
of additional State highway and intercity rail needs for each region to the
Commission. Each region shall, in its RTIP, include a comparison of the projects in
its RTIP and the State highway and intercity rail improvement needs identified by
Caltrans, including a discussion of significant differences.
When Caltrans makes its RTIP recommendation and identification of State
highway and intercity rail improvement needs, it should also share with the regional
agency its plans for SHOPP projects that may be relevant to the region’s
consideration of RTIP projects. This is apart from the statutory requirement to
make a draft of the SHOPP available for review and comment.
21. Project Planning, Programming, and Monitoring. The RTIP may propose to
program up to 5 percent of the county share for project planning, programming,
and monitoring (PPM) by the transportation planning agency or, within the
Southern California Association of Governments (SCAG) area, by a county
transportation commission. If the RTIP proposes programming funds for both
SCAG and a county transportation commission, the total will not exceed 5 percent
of the county share.
Funds programmed for this purpose should be spread across the years of the
STIP. When allocated by the Commission, the funds will be available to cover
costs of:
• Regional transportation planning, including the development and
preparation of the regional transportation plan.
• Project planning, including the development of project study reports or major
investment studies, conducted by regional agencies or by local agencies in
cooperation with regional agencies.
• Program development, including the preparation of RTIPs and studies
supporting them.
• Monitoring the implementation of STIP projects, including project delivery,
timely use of funds, and compliance with State law and the Commission’s
guidelines.
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Caltrans expenses for these purposes are included in the Department’s annual
budget and will not be funded through the STIP except when Caltrans is
reimbursed for project study reports by a region using funds allocated to that
region for PPM.
22. Bicycle and Pedestrian Projects in the RTIP. Bicycle and pedestrian projects may
be programmed by a region in its RTIP as these projects are eligible for either
State Highway Account or Federal funds.
23. County Shares, Advances, and Reserves. The fund estimate will identify, for each
county, (1) the county share for the share period that ends during the current STIP
period, (2) the county’s proportionate share for the portion of the new four-year
period that falls within the current STIP period, and (3) the balance of the
estimated share for the four-year period that extends beyond the current STIP
period. For the 2022 STIP fund estimate, for example, this means (1) the available
share for the period ending 2023-24, (2) the county’s proportionate share for the
period beginning 2026-27, and (3) an estimated proportionate share for the period
ending 2027-28.
Any region may, in its RTIP, propose projects or project components during the
STIP period from all of these shares, including the share for the period that
extends beyond the STIP period. Unless the Commission rejects an RTIP, as
described in Section 60, the Commission will include in the STIP, at a minimum, all
RTIP projects carried forward from the prior STIP and all new RTIP programming
proposed within the level of the county share for the share period that ends during
the current STIP (i.e., for the 2022 STIP, the share for the period ending 2023-24).
Beyond that, as described in Section 61, the Commission may include in the STIP
either more or less than each region’s proportionate share for the new share
period. Overall, the Commission may not program more than the available
statewide capacity for the STIP period. The RTIP shall identify those projects or
project components that it proposes to program within the STIP period from the
share for each four-year share period.
As authorized by Streets and Highways Code Section 188.8(j), a region for a
county with a population of less than 1 million may also, in its RTIP, ask the
Commission to advance an amount beyond its county share for a larger project.
The requested advance may not exceed 200 percent of the county share for the
four-year share period that extends beyond the current STIP period, as identified in
the Fund Estimate. The RTIP will separately identify the project or project
components it proposes to program with the advance, following the same display
format used for other RTIP projects.
Any region may, in its RTIP, ask to leave all or part of its county share
unprogrammed, thus reserving that amount to build up a larger share for a higher
cost project or otherwise to program projects in the county at a later time. The
Commission may use funds freed up by these reserves to advance county shares
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